Compliance Management Framework: Annual Compliance Review - Procedures

Accessibility links

Compliance Management Framework: Annual Compliance Review - Procedures

Breadcrumbs

Approval authority
Vice-Chancellor and President
Responsible officer
Chief Operating Officer
Designated officer
Chief Operating Officer
First approved
23 February 2016
Last amended
15 March 2016
Effective start date
15 March 2016
Review date
23 February 2021
Status
Active
Related documents
Audit and Assurance Framework - Governing Policy
Compliance Management Framework - Governing Policy
Enterprise Risk Management and Resilience - Governing Policy
Fraud and Corruption Control - Governing Policy
Governance Framework - Governing Policy
Health, Safety and Wellbeing - Governing Policy
Related legislation / standards
University of the Sunshine Coast Act 1998 (Qld)
Financial and Performance Management Standard 2009 (Qld)
Financial Accountability Act 2009 (Qld)
Queensland Work Health and Safety Act 2011
Queensland Work Health and Safety Regulations 2011
Australian Standard AS ISO 196000:2015 Compliance management systems

1. General guidelines

The procedures that follow outline the University’s annual compliance reporting process and must be read in association with the Compliance Management FrameworkGoverning Policy and other related procedures.

2. Intent and objectives

The intent of this procedure is to:

  • provide a systematic process for the reviewing of compliance obligations to enable the University to effectively and efficiently manage compliance risks; and
  • enable the gathering of information to facilitate monitoring and reporting of compliance performance within the University.

3. Compliance reporting

3.1 The Chief Operating Officer will coordinate an annual compliance risk report for the Audit and Risk Management Committee.

3.2 Cost Centres will contribute to the annual compliance risk report via a report to the Chief Operating Officer which confirms that:

a. monitoring of compliance for each compliance obligation allocated is being effectively managed;

b. any moderate or higher rated risk relating to these obligations have been reported as they have arisen and been treated appropriately in accordance with the University's Risk Management Procedures;

c. any known risks faced by impending legislative requirements are being considered and actions are being taken to address them; and

d. the compliance obligations detailed in the Register of Compliance Obligations remain relevant to that Cost Centre, (and provide details of any new obligation or redundant obligations).

3.3 The Audit and Risk Management Committee is responsible for ensuring that it receives an annual report and any ad hoc reporting on compliance as required from the Chief Operating Officer, and that it identifies and requests follow-up action on any issues of concern.

END

Back to top

Searching {{model.SearchType}} for "{{model.Query}}" returned more than {{model.MaxResults}} results.
The top {{model.MaxResults}} of {{model.TotalItems}} are shown below, ordered by relevance ({{model.TotalSeconds}} seconds)

Searching {{model.SearchType}} for "{{model.Query}}" returned {{model.TotalItems}} results, ordered by relevance ({{model.TotalSeconds}} seconds)

Searching {{model.SearchType}} for "{{model.Query}}" returned no results.

No search results found for

{{model.ErrorMessage}}